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Crafting a research proposal
Article in The Marketing Review · June 2010
DOI: 10.1362/146934710X505753
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Teresa Heath
Caroline Tynan
University of Minho
University of Nottingham
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The final version of this paper appeared as:
Heath, M. Teresa Pereira and Tynan, A. Caroline (2010), “Crafting a Research Proposal”, The
Marketing Review, 10(2): 147-168. DOI: 10.1362/146934710X505753
CRAFTING A RESEARCH PROPOSAL
M. Teresa Pereira Heath1
Universidade do Minho
and
Caroline Tynan2
Nottingham University Business School
Corresponding author:
M. Teresa Heath
Universidade do Minho, Campus de Gualtar
Escola de Economia e Gestão (Business Department),
4710-057 Braga, Portugal.
Tel. + 351 253 604550
Fax: + 351 253 601380
1
Email: mtsp@eeg.uminho.pt or lixmts@nottingham.ac.uk
2
Professor Caroline Tynan
Nottingham University Business School,
Jubilee Campus, Wollaton Road,
Nottingham NG8 1BB, England.
Tel +44 115 846 6978
Fax +44 115 846 6667
Email caroline.tynan@nottingham.ac.uk
Abstract
This paper provides a guide for students, their supervisors, and researchers in general, to
developing a research proposal. Drawing on insights provided by Baker (e.g. 2000a)
and other authors (e.g. Hart 1998, Krathwohl and Smith 2005) and on our own
experience as lecturers, this article addresses the concept and importance of a research
proposal. It discusses the process of producing a research proposal and the sections
appropriate for such a document. Additionally, it raises some questions that will help
researchers to assess the quality of their proposals. The article concludes by presenting a
table summarising the main problems found in the various stages of developing a
research proposal, and ways to deal with them.
Keywords: research proposal; introduction; literature review; methodology; assessing a
research proposal; selecting a topic
M. Teresa Heath completed her PhD at Nottingham University Business School, with
an awarded scholarship granted by the Portuguese Fundação para a Ciência e
Tecnologia. She is an assistant professor of marketing at the University of Minho and a
member of the board of direction for that department’s Master in Management. Her
publications and research interest focus primarily on consumer behaviour,
communication and critical marketing. She was awarded an Emerald Citation of
Excellence in 2008 for a paper published in the Journal of Marketing Management.
Dr Caroline Tynan is Professor of Marketing at Nottingham University Business
School, Vice President of the Academy of Marketing, a Fellow of the Chartered
Institute of Marketing, Member of the ESRC Research College and a Visiting Professor
at The University of Ljubljana, Slovenia. She served as Dean the Chartered Institute of
Marketing from 2006–2010 and on the Research Assessment Exercise 2008 sub panel
for Business and Management Studies to represent the discipline of marketing. Caroline
has worked in the food and utilities’ industries and is a Chartered Marketer. Her
research interests include consumption meanings, relationship marketing and
managerial marketing practice. She has published in a number of journals including
Journal of Business Research, European Journal of Marketing, the Journal of
Marketing Management and the Journal of Strategic Marketing.
2
INTRODUCTION
Writing a research proposal is a source of anxiety for most students (see Onwuegbuzie
1997) who may feel lost in face of the novelty of the process, pressured by time
restrictions and stressed by the forthcoming evaluation of their work. However, it is a
crucial step in the development of a research project since the success of such a task is
largely dependent on the quality of the original proposal (Baker and Foy 2008). This
notwithstanding, little attention has been devoted to this essential first stage of a study
(Baker 2000a). Although frequently addressed in students’ textbooks on research in
social sciences, there is a surprising dearth of scholarly articles offering an overview of
the process. One noteworthy exception is Baker (2000a), who also addresses the
development of different parts of a research proposal in a series of articles published in
The Marketing Review (Baker 2000b, 2001a, 2001b, 2002a, 2002b).
This paper uses insights provided by Baker and other authors (e.g. Hart 1998,
Krathwohl and Smith 2005) and draws on our own experience as lecturers and
researchers to provide an integrated source of advice for students and social researchers
in general, who intend to develop a research proposal. It also addresses common
mistakes and problems students encounter in this process. Furthermore, this paper
should function as a useful source for supervisors.
This article first introduces the concept of a research proposal, discusses its importance
and suggests some issues that require careful thought when beginning the process. It
then outlines the sections appropriate for such a document, raises some questions that
will help researchers to evaluate the quality of their proposal and concludes by
3
presenting a summary (in the form of a table) of the main problems found in the
different stages of developing a research proposal, while suggesting ways to deal with
them.
DEVELOPING A RESEARCH PROPOSAL
What is a Research Proposal?
A research proposal is a “formal written plan which communicates ideas about a
proposed study in order to obtain approval to conduct the study or to seek funding”
(Onwuegbuzie 1997: p. 5). Through this plan the researcher aims “to learn something of
real or potential significance about an area of interest” (Krathwohl and Smith 2005: p.
5). As well as serving as a work plan, the proposal offers a justification for the study,
indicating why the research is worth doing and how it will be carried out (Krathwohl
and Smith 2005, Matthews 2006). Additionally, the exercise of producing a proposal is
a useful discipline for clarifying early ideas and thoughts and drawing them together
into a coherent document (Saunders, Lewis and Thornhill 2003). Even if adjustments
are made at a later stage in the research (which, quite rightly, they usually are), the
proposal still represents a first step on the process, providing an initial foundation for
the whole study. It serves as a blueprint that can be consulted during the research
process (Baker and Foy 2008), and as a reminder of what has already been
accomplished and what still needs to be done (Riley, Wood, Clark, Wilkie and Szivas
2000). It is also a benchmark against which the final research may be assessed (Baker
and Foy 2008). The importance of the research proposal is increased further when it is
used to seek funding for one’s project or to apply for a scholarship.
4
Where does the Researcher Start From?
Several issues must be addressed before starting the process of writing a proposal. To
begin with, and before undertaking any work, students should study their institution’s
dissertation guidelines (Gould 2008). By knowing what is required and expected of
them (Baker 2000a), they are in a better position to undertake their project successfully.
Additionally, early in this process, the researcher has to consider the subject or topic to
investigate. This is a task viewed by many as the most difficult of all (Baker 2000a) and
is crucial for the overall success of the research. This stage calls for creativity and an
open mind, but also good judgment to select a topic that is interesting, and on which the
candidate can reasonably expect to usefully further the extant knowledge.
Researchers can find ideas for research topics from various sources, such as talking with
experts in the field, including potential supervisors; searching in the ‘recommendations
for further research’ sections of books and academic papers; consulting published
theses, dissertations, conference proceedings, practitioners journals and other reports;
discussing with colleagues; or listening to the media (e.g. Mauch and Park 2003, Baker
and Foy 2008). In some cases, prospective supervisors may provide a list of topics of
interest to them (Baker and Foy 2008). Alternatively, students may wish to develop
further a topic that they have investigated beforehand, which offers the advantage of
some background knowledge of the topic and relevant sources of reference.
It is most important that students feel motivated by the subject chosen, since they will
spend a substantial amount of time and effort exploring it. This can be a rewarding
challenge when the subject interests them and a very difficult, tedious or stressful task
5
otherwise. They should also consider whether the subject chosen may (or may not)
attract the interest of a potential supervisor and should allow themselves some
flexibility to make adjustments after discussing the proposal with him/her. Lee with
Lings (2008) draw attention to the importance of this aspect, noting that however busy
the supervisors may be, they will be more likely to engage with a topic that interests
them. Additionally, students should expect that supervisors will be in a better position to
offer informed and topical advice in a field that they have previously researched.
Consultation of the research publications from a potential supervisor offers some
insights into how well informed they are in the area (Lindgreen, Palmer, Vanhamme
and Beverland 2002).
Furthermore, in selecting the topic of research, students should consider both the
potential for a novel contribution of a thesis developed around that topic and the
feasibility of conducting that research. The former means that researching an existing
topic, in the same way and employing similar methodologies as previous studies will
not be sufficient to constitute a novel study. On the other hand, engaging in the research
of a novel topic with new methodology might be overly demanding, if not impossible.
It is important for students not to put off their topic selection during the taught part of
their degrees (when this applies) but rather that they should keep notes on dissertation
possibilities throughout their course (Gordon 2003). This awareness will help them to
build on different ideas, develop confidence in their work and reduce the stress of
composing a research proposal.
6
At this initial stage, as in later stages of the process of writing the proposal (e.g. when
starting to write the literature review), researchers might find tools such as mind
mapping useful for supporting their reflection upon the issues involved in their project
(see e.g. Easterby-Smith, Thorpe and Jackson 2008). Modern mind mapping was
developed by Buzan in 1970 (Buzan and Buzan 1996) and has since proved a useful
approach to generating visualising, structuring and classifying ideas, thus facilitating
analysis, problem solving and creative thinking (see e.g. Mento 1999, Zampetakis,
Tsinoris and Moustakis 2007). The technique facilitates visual presentation of concepts
and ideas on one page, thus illuminating relationships amongst them, and assists
reflection upon the subject of research in a global and holistic sense (Mento 1999).
Appendix 1 contains an example of a mind map showing the tasks involved in
undertaking a research proposal.
Content of a Research Proposal
Regardless of whether the proposal is for an honours or a master’s dissertation, a
doctoral thesis, or for a higher-level project, there is broad agreement that its content
and structure is largely similar (see e.g. Baker 2000a, Baker and Foy 2008). Possible
sections include the following: title, outline, introduction, literature review, definition of
problem/research question and aims, methodology, and bibliography. Some authors
suggest a section called background (e.g. Saunders et al. 2003), which can replace the
introduction and the literature review.
Title and Outline
7
The title is the first indication of the content of the proposal and thus “should
summarise, succinctly and precisely what the research is about”, reflecting the nature
and scope of the work (Baker and Foy 2008: p. 47). It might be helpful to try to
synthesise the core of the proposal in one sentence and from this progress to produce a
title which, if necessary, can be modified as the work progresses (Saunders et al. 2003).
The outline provides an indication of how the work is presented as listed in a table of
contents (Baker and Foy 2008).
Introduction
A good, sharp introduction sets the reader’s mood and arouses his/her interest in the
project. Students should avoid the temptation of adding too much information in the
introduction to maintain focus and relevance. This section should be short (about one or
two pages) but useful, setting the stage for what comes next (Mauch and Park 2003). A
useful guide at this stage is to answer what Baker (2003: p. 38) called the “Kipling
Test”, that is, to answer the questions from Rudyard Kipling’s (1902) poem “The
Elephant’s Child”:
“I keep six honest serving-men,
(They taught me all I knew);
Their names are What and Why and When
And How and Where and Who.”
Highlighting the importance of first impressions, Krathwohl and Smith (2005) discuss
how the first sentences of a project can have a decisive impact on the reader. It is often
8
the case that students present a long description of a topic before giving any clear idea
about the subject matter or rationale for the research. Although contextualisation is
important, the opening statement should convince the reader that that project is worthy
of attention (Krathwohl and Smith 2005), presenting the best arguments justifying the
intended research and specifying why it is worth studying. An introductory section
should then succinctly present the main problem or issue, indicate where the gap lies for
that research, what the research aims to achieve (Hart 1998), and how it proposes to
achieve it. The rationale for the research should be clear and convincing, stating the
main reason(s) why the research is needed (Hart 1998), the potential value of the study
and why it is particularly needed at the time of the proposal (Mauch and Park 2003). To
add credibility to the proposal, it can be supported with references to other studies,
which have approached the broad area of the problem in some way (Hart 1998) and
suggested the relevance of further research.
In some cases, it is also expected that the researcher indicates his/her motivation for
undertaking that research. This can stem from personal reasons, such as the relevance of
the topic for the researcher (e.g. because of his/her experience or background) and/or
from a prior investigation that the researcher has developed on the field. Such an
indication can contribute to establishing one’s credibility as a competent person to write
about the topic, which Hart (1998) claims, is one of the main components of an
introduction. Finally, to ‘signpost’ the structure for the reader the introduction should
contain a one-paragraph overview of the different sections of the proposal. It is easier to
write the final draft of the introduction when the research proposal is nearly completed,
since at this stage the researcher will have a global picture of their project and a broader
and more detailed understanding of the problem and rationale for the research.
9
Literature Review
A good proposal should persuade its readers both that there is an issue worthy of
research and that the researcher is sufficiently familiar with the key existing literature to
do so in a meaningful way (see Baker and Foy 2008). The review section should show
that the proposal is solidly grounded on past work, indicate command of key studies and
elucidate the extent to which the proposed research will move the field forward
(Krathwohl and Smith 2005). The length and level of detail of a literature review for a
research proposal are not expected to be as great as in an actual thesis or dissertation.
Still, it should provide an overview of the key sources (Saunders et al. 2003), and
should be guided by the same underlying principles and methods. In the following, we
will consider common problems found in literature reviews and the purposes of
undertaking a review at this stage.
Although commonly viewed as a relatively easy task, the quality of reviews produced
by research students is quite variable (Hart 1998). The main problems that we have
encountered in these documents include: failure to identify key studies and definitions
on the topic; lack of a logical flow between the arguments and theories; lack of critical
analysis regarding the main theoretical debates in the field, including the presentation of
the competing ideas and arguments as unrelated, independent and sequential paragraphs,
rather than attempting to contrast and relate them; insufficient explanation of the claims
made; and deficiencies in citations and in the use of quotations. The absence of
references is particularly problematic since failure to acknowledge the authors of the
sources used may be considered plagiarism.
10
A literature review can be defined as “the selection of available documents (both
published and unpublished) on the topic, which contain information, ideas, data and
evidence written from a particular standpoint to fulfil certain aims or express certain
views on the nature of the topic and how it is to be investigated, and the effective
evaluation of these documents in relation to the research being proposed” (Hart 1998:
p. 13). The “selection of available documents” involves looking at credible literature
including “Edited Books, Journal articles, Monographs, Databases, Conference
Proceedings, Dissertations, Newspapers, Empirical studies, Government reports,
Historical records, Statistical handbooks, Policy guides” (Gabbott 2004: p. 412). Baker
and Foy (2008: p. 87, 88) list some of the main electronic, journal article databases for
business and management, including: ABI/INFORM (and other Proquest products),
Academic Search Premier (and other EBSCO databases), Blackwell Synergy and Wiley
Interscience, Emerald, Informaworld, IngentaConnect, HighWire Press, JSTOR, Oxford
Journals, Sage Journals, Science Direct. The search engine Google Scholar can be a
complementary, useful tool to become acquainted with relevant sources of material to
review. Students should also be aware that they are unlikely to have free access to all
the papers or databases they need and that they may need to pay for some papers.
Undertaking a literature review at the proposal stage allows the researcher to gain a
solid knowledge of the field of inquiry (Mauch and Park 2003), offering the foundation
for the research (Hart 1998). Indeed, in order to define and develop his/her own study,
the researcher needs to be acquainted with existing empirical and theoretical knowledge
in the field (see e.g. Onwuegbuzie 1997, Baker 2000b) and demonstrate familiarity with
state-of-art developments (Hart 1998). While becoming aware of the history of and
debate around the subject, the researcher can also acquire appropriate vocabulary,
11
identify areas of current interest (Hart 1998), ascertain who the eminent scholars are
(Mauch and Park 2003), and uncover gaps, omissions or inconsistencies in what has
been published (Hart 1998, Gabbott 2004). Importantly, such a review helps the writer
to avoid “re-inventing the wheel” (Gabbott 2004: p. 413) by repeating work due to
ignorance. Research aims “to extend and improve both our knowledge and
understanding” (Baker 2001a: p. 373) and, as such, it should complement rather than
duplicate other studies (Przeworski and Salomon 1995).
Additionally, the review allows the researcher to gain knowledge about the
methodologies that have been used in the field and about their usefulness and
appropriateness (Mauch and Park 2003). This may suggest innovative ways of
approaching the topic to the researcher, which can contribute novelty to his/her project
(see e.g. Hart 1998). Moreover, the literature reviewed will be useful throughout the
research, assisting the analysis and discussion stages (Gabbott 2004).
The Process of Undertaking a Literature Review
First of all, researchers ought to identify what they need to investigate. This means that
they need to have identified the broad subject and should have a fair idea of the research
question to guide the process of collecting information (Gabbott 2004). Then, they will
start retrieving relevant literature. This is likely to continue throughout the whole study
(Gabbott 2004) but more focused attention is devoted to it at this stage. Baker (2000b)
recommends beginning this process by consulting those topical sources that are most
likely to contain a summary or overview of the key issues related to a subject, including
textbooks, encyclopaedias, reference books and review articles. Recent issues of
12
important journals are a particularly good source to start understanding the current
thinking and ideas in the field, the main investigators and the references that are most
often cited (Mauch and Park 2003). Attention should be paid to the quality of the work
cited, ensuring that papers which are crucial to framing the argument or proposed
methodology come from robust and well conducted studies. Students should learn to
develop their own skills in judging research studies and the papers in which they are
presented, but advice should be obtained from supervisors and the rankings of the
journal in which the paper is published offers a useful proxy. One useful journal ranking
list is published by the Association of Business Schools (2009).
Hart (1998) draws attention to the differences between reading for the purpose of
reviewing and reading for pleasure. While reading for the purpose of undertaking a
literature review, the researcher aims to produce a product, which is an analytical
evaluation of the research on a topic (ibid). Hence, this should not be passive reading
but extracting the crucial issues (e.g. standpoints, evidence, concepts) from the text
(Hart 1998) and undertaking a critical reflection (see e.g. Catterall, Maclaran and
Stevens 1999) upon it.
Researchers writing proposals should also learn to use time efficiently (Gabbott 2004).
They should not rush to read the whole text of a book or a journal article in one go, at
least not before ensuring that it is relevant. When reading a book, they should begin by
reading the title and the write-up on the cover, before glancing at the contents list and
preface, and then looking at the introduction (Hart 1998) for more detail; in the case of a
journal article, they should begin by reading the abstract and the key-words to decide
how closely the sources match their own research questions (see Baker 2000b). While
13
reading, it is important to be systematic about keeping referenced notes (electronically
or hand-written) of anything for inclusion in the final document (Baker 2000b, Gabbott
2004, Baker and Foy 2008). These notes should be concise and focused on relevant
issues avoiding the unproductive temptation to write long summaries of articles which
are time-consuming to produce and ineffective when seeking to track specific issues for
the review.
Having gathered the information, it is then time to organise the relevant material (Baker
2000b), to produce a cohesive review with a clear line of argument (see Gabbott 2004).
The decision to take a break from reading and write the review is often difficult for
students who may feel more comfortable continuing to read, while postponing the
moment when they will need to start producing a document.
While undertaking the process of organising the notes and writing a review document,
researchers will need to analyse and synthesise the information (Baker 2000b, Hart
1998). Analysis [Greek: “breaking up” (Barnhart and Steinmetz 2008: p. 32)] involves
a “methodological examination” where one breaks up, or divides, some complex whole
into its constituent parts (Spiggle, 1994: p. 492), and describes “how they relate to each
other” (Hart 1998: p. 110). Analysis is based on thinking in various ways about what
one is reading (Hart 1998). By doing so, one is able to “dig beneath the surface of an
argument” (Hart 1998, p. 111), gaining a better knowledge of the different aspects of
the subject being researched, and enhancing its understanding (Baker 2000b, Hart
1998). Synthesis [Greek: “put together” (Barnhart and Steinmetz 2008: p. 1107)] is
“the act of making connections between the parts identified in analysis” (Hart 1998: p.
110). It involves “rearranging the elements derived from analysis to identify
14
relationships or show main organizing principles or show how these principles can be
used to make a different phenomenon” (Hart 1998, p. 111). Therefore, this
reorganisation can illuminate relations or patterns that have not been identified before
(Hart 1998), and produce new explanations of the phenomenon under research (Baker
2000b).
A well-argued literature review should present the various or competing views and
definitions regarding the topic under investigation (Hart 1998, Gabbott 2004). This
discussion should point out relationships, differences and similarities amongst the views
and concepts rather than simply describing them. As Gabbott (2004) claims, the
researcher needs to “write about the literature, not just report that it exists” (p. 424). In
so doing, the researcher should be able to take a critical stance and offer a coherent
argument, always supported with appropriate evidence (Gabbott 2004, Hart 1998).
Skills of critical thinking are highly valued by academics in evaluating students’ work
(Hackley 2009) and will help the process of writing the review. Critical thinking
involves a high level of intellectual activity that goes beyond merely descriptive work
(Hackley 2009); it demands accuracy, argumentation, clarity, logic, and fairness (see
e.g. Dehler, Welsh, and Lewis 2001, Roy and Macchiette 2005).
In writing a review, it is also important to build a unified structure for the document.
The review should have a clear beginning, middle and end (Baker 2000b). Poor reviews
often contain paragraphs that seem misplaced, as if they have been “cut and pasted”
from various documents without a logical, underlying order. It might be that the
information presented has a clear structure for the researcher but if the reader cannot
perceive that logic, the review needs re-writing.
15
Citations
Researchers need to keep in mind that they are using the work and ideas of other people,
who must be correctly and consistently cited (Hart 1998, Baker 2000b). This
emphasises the importance of reading primary sources, rather than relying upon secondhand interpretations of them (Gabbott 2004, Krathwohl and Smith 2005). A related
issue is the use of quotations and other claims found in one source but originating in
another. We have observed cases in which students use both quotations and
interpretations of other authors’ arguments that they find in a third-party source (for
example, a review article) as if they have read those authors and found those quotations
in the original source themselves, which is considered dishonest (Mauch and Park
2003). The same applies, perhaps even more strongly, to the use of summaries or
interpretations taken from other authors. Even if the researcher searches for the original
source it is a matter of professional and academic courtesy to acknowledge the original
author(s) (Mauch and Park 2003).
Finally, it should be pointed out that that a literature review should not be a list of
quotations but one’s interpretations of other people’s work (Baker 2000b). It is
relatively common for students to quote a considerable number of passages, without any
apparent reasoning. While important, verbatim quotations should be used sparingly,
only when the researcher intends “to communicate the precise viewpoint of your source
to act as a peg on which to hang similar arguments, as an endorsement or
reinforcement for a particular line of argument, or as a counterpoint to an alternative
school of thought” (Baker 2000b: p. 232). Note that in the quotation above, our
intention was to acknowledge Baker’s precise stance on the use of citations.
16
Additionally, one should be complete in the citation of a quotation, including its page
number (Baker 2000b).
Concluding a Literature Review
The review should clarify the nature of the gap in existing knowledge in the field (Hart
1998, Mauch and Park 2003), and define what additional information is required to fill
that gap (Baker 2001b), thus contributing to the rationale of the research. The review
should, then, conclude by communicating how the proposed project will address the
existing gap (Mauch and Park 2003).
Researchers should also note that the final version of a literature review is not
completed in one go, rather it is an iterative process. It is essential to revisit and revise
the review several times during the course of the study, until the final document is ready
(Gabbott 2004). This is another reason why students should not become stuck at the
literature review stage; they can, and most likely will, revisit it at later stages.
Research Problem or Question and Aims of Research
Drawing on the literature review, researchers should now produce a clearly stated
research problem (Baker 2000b, Hart 1998) or research question, which should emerge
“smoothly” from the previous section (Saunders et al.
2003). This problem (or
question), which has already been referred to at the introductory section, can now be
restated in a more precise and detailed way, grounded in the additional understanding
provided by the review (Krathwohl and Smith 2005). Researchers are also in a more
17
informed position to detail the objectives or aims of the proposed research. These
should be precisely written (Saunders et al. 2003) and describe what exactly the
researcher intends to achieve (Baker and Foy 2008), using clear and succinct statements
(Hart 1998).
We add a word of caution about the need to be realistic in defining one’s objectives. It is
often the case that students present objectives that are not feasible in the time, and with
the resources, available to conduct the project. Overstating one’s possible contribution
not only does not impress the reader but rather suggests that the student lacks a mature
understanding of the problem and of the research process itself.
Methodology
After defining the research problem and establishing the aims of the research, based on
existing literature, it is time to explain how those aims are to be achieved. How the
researcher addresses the problem and answers the attendant questions constitutes the
methodology of a study (Taylor and Bogdan 1998). Understood as a “system of methods
and rules to facilitate the collection and analysis of data” (Hart 1998: p. 28), the choice
of a methodology is one of the most important decisions in an academic investigation
since it will guide how the data will be collected, how it will be analysed and
interpreted, and it is a major influence upon the outcomes of the study (Mauch and Park
2003).
Students should be aware that methodological decisions should be matched to their
research purposes (see e.g. Reichardt and Cook, 1979, Silverman, 2004) and this should
18
be clear in the proposal. Indeed a list of research methods and tasks is not enough to
define a methodology; an argument must be given as to why those methods are the best
feasible approach (Przeworski and Salomon 1995) in light of the defined objectives
(Saunders et al. 2003). At this stage, students are expected to decide whether they are
going to follow a quantitative or qualitative research strategy (sometimes both can be
usefully combined). As the name indicates, a quantitative piece of research emphasises
quantification in the collection and analysis of data (Bryman 2004). Hence, quantitative
methods, such as surveys, structured observation, or experiments tend to be preferred
for collecting data within the quantitative paradigm (see e.g. Reichardt and Cook 1979,
Deshpande 1983, Bryman 2004). Additionally, this paradigm often entails a deductive
approach to the relationship between theory and research (Bryman 2004). It is often
considered to incorporate a positivist orientation and a view of reality as an external and
objective reality (e.g. Bryman 2004), which should be apprehended taking an
“outsider’s” perspective, distant from the data (Deshpande 1983: p. 103). On the other
hand, a qualitative study emphasises words rather than quantification (Bryman 2004)
and, accordingly, tends to prefer qualitative methods (Deshpande 1983), such as indepth interviewing, focus group and ethnography (see e.g. Bryman 2004). Qualitative
research follows a predominantly inductive, and discovery-oriented, approach (Bryman
2004, Deshpande 1983), embodying a view of social reality as a constantly changing
property of individuals’ perceptions (Bryman 2004), and aiming to get an “insider’s”
perspective (Deshpande 1983: p. 103) of the phenomena under study.
As the aforementioned descriptions of quantitative/qualitative strategies hint,
researchers’ assumptions are likely to influence them towards different methodologies
(e.g. Hudson and Murray 1986, Hudson and Ozanne 1988, Taylor and Bogdan 1998,
19
Baker 2001a). Although an account of one’s philosophical assumptions is not essential
at the research-proposal stage before finalising the methodological choice, it is
important for researchers to be aware of their stance. This is especially the case for PhD
students who are expected to reflect upon such matters and to incorporate a related
section in their theses. This awareness will help in guiding research strategies and in
reaching sounder and better informed decisions regarding the consistency of the
methodology chosen with researchers’ beliefs and research objectives (see e.g. Morgan
and Smircich 1980, Hudson and Murray 1986, Lutz, 1989, Goulding 1999). On this
matter, Anderson (1986) regrets the lack of explicit connection made by most
researchers between “abstract philosophical issues” and “concrete research practices”
(p. 158), arguing that considerations in this respect should be primary for any discipline
that has scientific pretensions and that epistemological issues “underwrite all of the
knowledge claims of a discipline” (p. 158). In a similar vein, Morgan and Smircich
(1980) argue for a more reflective attitude towards understanding the link between
favoured techniques and methods of research, and the underlying assumptions of the
researcher. They warn that a “preoccupation with methods on their own account
obscures the link between the assumptions that the researcher holds and the overall
research effort, giving the illusion that it is the methods themselves, rather than the
orientations of human researchers, than generate particular forms of knowledge”
(Morgan and Smircich 1980: p. 499).
Hudson and Murray (1986) and Hudson and Ozanne (1988) provide a thorough
discussion of the predominant approaches to gaining knowledge in social sciences.
Although there is a tendency to categorize schools of thought in a way that they seem
independent and mutually exclusive (Deshpande 1983), the researcher’s approach often
20
belongs to a place in a continuum, which can range from an objectivist approach to a
subjectivist one (see Deshpande, 1983, Hudson and Murray, 1986). It is not the purpose
of this paper to describe in detail these philosophical approaches. Nevertheless, to
support our present discussion, we are going to introduce two major theoretical
approaches that have dominated social science research – positivist and interpretivist
(Taylor and Bogdan 1998; see also Baker 2001a). According to Hudson and Ozanne
(1988) positivists tend to assume a “realist position” and that “a single, objective
reality” exists independently of what is perceived by the individuals, while for the
interpretivist there is no single reality - reality is “essentially mental and perceived” (p.
509). These ontological assumptions have consequences on the kind of research that
scientists assume as valid (Hudson and Murray 1986). Positivists defend the use of the
methods of the natural sciences to study social phenomena (Murray and Ozanne 1991,
Bryman 2004). In accordance with their ontological stance, they emphasise explanation
(Bryman 2004, Murray and Ozanne 1991), search for causes and are likely to adopt
data-collections methods such as questionnaires, which produce data amenable to
statistical analysis (Taylor and Bogdan 1998).
Interpretivism or phenomenology holds that “the important reality is what people
perceive it to be” (Taylor and Bogdan 1998: p. 3), and is committed to understanding
social phenomena from the actor’s own perspective (Taylor and Bogdan 1998).
Accordingly, an emic approach, where the interpretation relies on the participant’s own
terms and understanding (rather than on the researcher’s) is argued for (Thompson,
Locander and Pollio 1989; see also Kvale 1983). The phenomenologist strives for
understanding or Weber’s concept of verstehen (Deshpande 1983), and is more inclined
21
towards qualitative methods, such as in-depth interviewing, that yield descriptive data
(Taylor and Bogdan 1998).
With Morgan and Smircich (1980) we hold that the “dichotomization between
quantitative and qualitative methods is a rough and oversimplified one” (p. 499) and
that the appropriateness of a qualitative (or quantitative) approach is related to the
nature of the phenomena under study and is shaped within the assumptions and the
world view to which the researcher subscribes (Morgan and Smircich 1980; see also
Hudson and Murray 1986). Furthermore, like Reichardt and Cook (1979), Deshpande
(1983) and Silverman (2004), we believe that quantitative and qualitative methods are
not inherently incompatible but that when used together within the same research
paradigm and for the same purpose, the two can build upon each other and offer insights
that neither one alone could. Triangulation, that is the use of more than one method,
theory, investigator or source of data in research can provide more confidence in the
findings, and compensate the weaknesses of some methods with the strengths of others
(Denzin 1989; Deshpande 1983). It can combine a qualitative and a quantitative
methodology, but also triangulate two or more qualitative, or two or more quantitative,
methodologies. We would like to add a note here that we reject the view that qualitative
methods should be used in an exploratory stage of a research only, as a mere antecedent
for a quantitative methodology that is considered to represent the main part of a
student’s work. Qualitative research is still considered by some to be of worth only as a
“necessary” but secondary step that the researcher needs to take before embarking in the
“real”, quantitative study. We believe that this mode of thinking of and doing research
stems from a logical-empiricist view of social reality that has dominated the marketing
science (see Deshpande 1983). This paradigm was successfully challenged in the
22
eighties (Morgan and Smircich 1980, Deshpande 1983), particularly in the field of
consumer research, where there has been a growing use of qualitative, interpretive
research (Goulding 1999, Arnould and Thompson 2005).
Finally, we note that the methodology section should also include reference to how data
will be analysed, interpreted and how this relates back to the questions or problem
posed (see Easterby-Smith et al. 2008).
Work Schedule
A proposal should also include a realistic work schedule (Hart 1998) or work plan
(Krathwohl and Smith 2005). Such a plan, which can be summarised in a timetable,
identifies and sequences the several tasks of the research and the time projected to each
of them. A Gannt chart offers a useful and simple framework for the researcher to
organise the tasks of the project against a time line (Saunders et al. 2003). Outlining
such a schedule helps both the researcher and the reader of the proposal to assess its
viability (Saunders et al. 2003) and is useful to keep the research on due course,
encouraging a disciplined use of time (Mauch and Park 2003). It is common for students
to outline this schedule for the purposes of filling a research proposal and then forget
about its existence. To be valuable, students should print their work schedule out, have
it nearby their working space and refer to it frequently “so that they are continually
aware of how your (their) current work fits into the overall time allocated” (Phillips
and Pugh 1994, p.85).
Bibliography
23
The correct identification of all published material used is essential in all scholarly
research (Baker and Foy 2008) and accordingly, a list of all the sources used and cited is
a necessary part of the proposal.
Researchers should consistently use a standard form for citations (such as the Harvard
format or that advised in their university’s guidelines) and they should include complete
entries so that the work cited can be found (Mauch and Park 2003). This also applies to
material retrieved from the internet, which citation should include the full web page
reference together with the date of access. We have noted with surprise the reference to
www.google.com (when the material was on a different site found via the search engine
Google) in some students’ assignments. Bibliographic software tools such as “Endnote”
can be an important aid in keeping track of all references and maintaining consistency in
citations.
It is also important to be selective about the references employed, citing only those
references actually used in the document (Mauch and Park 2003). To cite lengthy
bibliographies that do not relate directly to the proposal (Krathwohl and Smith 2005)
does not give the reader the impression that the writer has done an extensive review but
rather raises doubts as to what he/she has actually read and understood. If any idea is
taken from a source, that source must be properly acknowledged, otherwise students are
guilty of plagiarism. This highlights the importance of keeping referenced notes while
reading the sources retrieved for the proposal. Moreover, the reliability and rigour of the
source research also needs to be considered before its use and citation. This is especially
important with the increasing use of the internet for educational purposes (see Baker
and Foy 2008, pp. 79-108). There is, for example, no guarantee of the accuracy of the
24
information posted on Wikipedia (Baker and Foy 2008), although, if used carefully, it
can be a useful initial source of an overview.
Rather than valuing an extensive list of references, we agree with Krathwohl and Smith
(2005) that the choice of a selected and appropriate bibliography, the competence in
evaluating the different contributions and the originality displayed in synthesising the
conceptual bases of existing literature and proposed work are what will impress the
readers.
ASSESSING A RESEARCH PROPOSAL
In the following, we propose a series of criteria that can work as a checklist for students
to evaluate the quality of their own research proposal.
Are all Parts of the Proposal Rigorously Constructed?
Rigour, understood as an ongoing commitment with strict accuracy and honesty (Mauch
and Park 2003), is a crucial attribute of a sound research proposal. Lack of rigour alerts
the reader to potential problems in conducting the actual research, gives an image of the
candidate as sloppy, and discourages possible supervisors. Rigour is demanded in all
parts of the proposal. In the title, which should accurately reflect the nature and the
scope of the proposal (see Baker and Foy 2008); in the literature review, which should
be precise in the concepts and theories presented, show critical thinking, have solid and
sound arguments, be logically structured and correctly referenced (see Hart 1998,
Gabbott 2004); in the definition of the problem and objectives, which should be explicit,
25
feasible, clear and unambiguous; in the methodology section, which should be justified,
appropriate and well defined (see Baker and Foy 2008); and in the bibliography, which
should be complete, detailed and consistently presented (see Baker and Foy 2008).
Rigour is also important in the overall presentation, which should be consistent (Baker
and Foy 2008), clear and carefully constructed.
Are the Claims made in the Proposal well Founded?
Also contributing to the rigour of one’s research proposal is a consistent concern with
supporting one’s claims with credible sources and appropriate evidence. Sometimes
students set out unsupported claims that they feel to be justified by “common sense”.
On this topic, it is relevant to refer to Lee with Lings’ (2008) note on the differences
between “common sense” and “knowledge” (p. 11), which emphasises that claims that
do not rest on a “body of evidence”, nor on a “reliable theory” are not considered
“knowledge”. Even when discussing their beliefs about, for instance the relevance of a
topic of research, or the adequacy of a certain methodological approach to the problem
at hand, students are expected to justify their views.
In a similar vein, the use of unnecessary adjectives and vague qualifications such as
“very” (Hart 1998) or expressions such as “this topic is more and more important”
should be discouraged, unless students are certain of the veracity of their claims and can
back them up with proper sources. Above all, students should seek to avoid what the
Princeton philosopher Frankfurt (2005), in his much-discussed essay on the
phenomenon, identified as bullshit; that is statements made to give a certain impression
without regard for their truth. Apart from any moral concerns, it should be noted that
26
those assessing the proposal will typically be academics and, as such, well practised in
detecting this form of deception. The integrity of the investigator in writing the
proposal, manifested by developing every part of the document with scrupulous honesty
(Mauch and Park 2003), is a basic foundation stone of all the work developed. That
includes not being intentionally ambiguous in claims presented.
Is the Rationale for the Research Clear and Convincing?
The proposal should show unambiguously that there is a gap in the literature and it
should convince the reader of the theoretical and/or practical relevance of filling that
gap with the proposed research (and methodology). If possible, the relevance of such a
study should be further supported with references to authors in the field that have
referred to it, for example in a “further research” section of their work.
Is the Proposal Well-written and Logically Constructed?
The writing of the proposal also needs to be carefully considered. The skill with which a
proposal is written will influence directly how it will be assessed. Clarity, consistency
and coherence are essential in communicating one’s argument (Hart 1998). On this
matter, researchers should also be wary of repetition of ideas and arguments in different
parts of the text, without any apparent logic underlying it. Sometimes, however, it might
be relevant to go back to a particular idea or argument in different sections of the
proposal, to add something to it, relate it to other issues or to stress it in the particular
context of the new section. In such cases, expressions such as “as previously
mentioned”, should be used to alert the reader that the material is being revisited.
27
A well-written proposal is concise, but still complete, with ideas built logically upon
one another (Onwuegbuzie 1997). Saunders et al. (2003: p. 33) refer to “the extent to
which the components of the proposal fit together” as a criterion for evaluation a
research proposal. Indeed, it is most important that the proposal flows logically and that
its different pieces read as a unified text, with a clear connecting thread underlying it,
rather than as disjointed fragments. Accordingly, and as this article has argued, the
rationale for the research should be supported by relevant literature. This literature
should inform the research problem or question and objectives, and the proposed
methodology should be adjusted to align with the objectives, the nature of the problem
and the researcher’s assumptions. Finally, the time allocated to the different parts
should reflect the methodology chosen and the resources available (see Saunders et al.
2003).
In the interest of good use of language, researchers should avoid the use of overly long
sentences, which can be ambiguous and cause the attention of the reader to wander.
These sentences should be rewritten and broken down in shorter ones (Hart 1998). Care
with a consistent and sound use of grammar (Hart 1998) should also be high amongst
researchers’ concerns, especially when preparing the final draft of their proposals. The
rigorous use of language should be a particular concern for students who are writing in a
language that is not their native one. In this case, it may be advisable to have the final
draft proofread by a native speaker.
Does the Researcher Show the Ability to Conduct the Proposed Research
Successfully?
28
Besides convincing the reader that the research is worth doing, the reader also needs to
trust the ability of the researcher to address the problems raised effectively. Part of this
confidence will depend on the candidate’s curriculum vitae and/or on a possible
conversation with him/her in an interview. However, the intellectual capability of the
student to justify decisions, his/her skills in summarising key ideas, presenting
alternative viewpoints, demonstrating critical awareness, the capacity to understand and
present coherent arguments, together with his/her library and searching skills (see Hart
1998, Przeworski and Salomon 1995) are all apparent in the proposal and will influence
the assessment made of the student’s potential. Finally, as discussed earlier, the
researcher may have previous experience in the field, which can contribute to an
impression of competence.
FINAL CONSIDERATIONS
To write a good research proposal is a demanding task and requires high calibre writing
skills, organisation, and the intellectual capacity to critically analyse and evaluate
research, both other people’s and one’s own. It also requires intellectual curiosity on the
part of the candidates, together with an intrinsic motivation to enhance their knowledge
of the topic. Creativity and an open mind further help in looking at the research topics
from novel and relevant angles.
Developing a good proposal takes time, usually longer than was anticipated by the
researcher. The sooner one starts, and the more time and thought one puts into it, the
more chance there is of producing a satisfactory document (Baker and Foy 2008). It is a
wise plan to have a first draft ready well in advance of the deadline, and to discuss it
29
with other people (Przeworski and Salomon 1995). It is especially important to do this
with those than can contribute to the document, such as supervisors, colleagues and
even relatives, who can point out relevant and unexpected questions or problems with
the proposal. Criticism is sometimes unwelcome, especially when one has spent a long
time developing such a document and feels emotionally involved with it (see Gordon
2003). In this regard, we support Gordon’s (2003) contention that the student should not
become defensive but rather believe that all observations are meant as well intended and
constructive. After writing a first draft, it might be also helpful to interrupt the process
and go back to it a few days later (if the deadline allows). In so doing, the distance
created between the proposal and the writer, allows him/her to revisit the work with a
fresh, critical look. In any case, researchers are expected to revise their drafts
extensively until they communicate the intended proposal as effectively as possible
(Przeworski and Salomon 1995). During the whole process, researchers might find it
helpful to keep a diary where they can write down notes and ideas as they spring to
mind, at different times of the day, even when they are not working on the proposal. It
is sometimes in those occasions that the best ideas arise.
It is our hope that this article can help researchers to write a research proposal and that it
signals common problems they might face in this process. Below, Table 1, offers a
summary of the most common problems we have encountered in students’ proposals
and suggests ways to overcome those problems. It should be clear that the process of
undertaking a good research proposal demands rigour, integrity, consistency, creativity,
critical thinking, discipline and hard work. We finish by noting that much of the same
can be said about the process of doing good research.
30
Table 1 Research Proposal: Common Problems and Solutions
Stages
Choosing a
research topic
Common Problems
 Lack of ideas (or too many ideas)
 Ideas not feasible to research or that will not add
to existing knowledge
Title
 Too generic, vague and/or long
 Does not reflect the essence of the proposal
 Confusing
 Overly long
 Not clear, or not explicit about what the major
problem or issue to research is
 Not clear, or not explicit about what the
rationale for the research is
 Identification of the problem or issue to research
too late in the text
Introduction
Literature
Review









Definition of
Problem and
Aims of the
Research
Methodology
Work
Schedule
Bibliography
Overall
Failure to identify key studies and concepts
Lack of a logical flow
Insufficient explanation of the claims made
Lack of integration of contributions on
particular themes
Lack of critical analysis
Unclear definition of the gap in knowledge
Use of other authors’ ideas without proper
references
Overuse of quotations
Too much time reading before starting to write
 Lack of explicit link with the literature and with
the gap identified
 Lack of detail and justification
 Not feasible (too ambitious for the time and/or
resources available)
 Not properly justified
 Not suited to aims of research and/or nature of
the research problem
 Not enough detailed
 Incomplete
 Not realistic
 Tends to be forgotten (after submitting the
proposal)
 Incomplete entries and absence of references
cited before
 References listed but not cited
 Inconsistencies in citing





Lack of justification and unfounded claims
Lack of focus
Lack of integration of ideas and arguments
Lack of critical analysis
Problems with citations
Things to Remember
 Keep an open mind
 Read recommendations for further studies
 Talk with supervisors and other knowledge people in the
area
 Keep notes of possible topics well in advance
 Consider potential for a novel contribution of a thesis
developed around that topic
 Consider the feasibility of researching that topic
 Consider how the topic chosen motivates you and your
potential supervisor
 Drawing a mind map might be useful
 Be succinct and precise
 Reflect upon the scope and the core of your proposal
 Focus
 Be concise
 Consider the impact of the first statement
 Do not leave too long before introducing the major
problem or issue to research
 Be clear about the novelty of and the rationale for the
research
 Present the structure of the proposal
 Rewrite the final draft at the end of the proposal
 Remember rigour and integrity
 Devote special attention to key articles, review
articles and be aware of ranking of journals
 Read with a purpose and take notes when reading
 Adopt a critical thinking
 Relate (rather than just list) and contrast ideas and
theories
 Support your statements
 Produce a structure to deliver the review in a
unified and logical manner
 Conclude by clarifying the gap in the field
 Be precise and consistent in citations
 Use time efficiently
 Draw on the review and on the gap identified
 Be precise and detailed
 Be realistic: consider the time and resources you have
available
 Show appropriateness of methodological decisions to
aims of research and nature of the problem
 Consider consistency between the methodological
decisions and your assumptions
 Be complete in justifying your choices (but still
focused)
 Consider methods for collecting data, analysing and
interpreting the findings
 Carefully consider all the tasks of the project and
estimate the “real” time you have available
 Have it nearby when undertaking the research project
 Check all your entries in the text and see if you have
listed them all in the bibliographic section (and no more
than those)
 Check if your entries are complete (e.g. lack of volume
number of a journal article, lack of page numbers)
 Check for consistency
 Use bibliographic software tools such as Endnote
 Remember rigour and integrity
 Be consistent
 Support your claims
 Relate ideas and arguments
 Have an open mind and welcome criticism
 Think critically
 Remember writing skills
 Remember organisational skills
 Star soon and rewrite several drafts
31
Appendix 1: Crafting a Research Proposal Mindmap
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Crafting a Research Proposal Mindmap
40
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